How Do I Know I Have Done Enough?
How much is enough? This is a question compliance professionals are always asking themselves – when mapping out a testing program, determining the impact of new regulations, developing (or defending) budgets, and (perhaps most often) when unsuccessfully trying to sleep. This panel will provide the tools you need to assess whether you have made reasonable efforts to develop, test and enforce a compliance program that is tailored for your firm’s specific business practices. Special attention will be paid to Reg BI and its accompanying interpretive releases to see where the SEC may have moved the goalposts.
After attending this session, attendees should be able to:
- Assess your current compliance program in light of current regulatory initiatives
- Explore your existing procedures and disclosures to determine if you need to be doing more
- Analyze your current processes with a fresh eye
This virtual course is being taught as part of the Fall 2020 Compliance Conference. To learn more, visit our main conference webpage.
Co-Editor, Modern Compliance
David Lui is the Co-Editor of Modern Compliance: Best Practices for Securities & Finance – the industry’s most widely distributed book on Securities Compliance.
He has been Chief Compliance Officer for some of America’s largest investment Advisors, including Charles Schwab Investment Management, Franklin Advisers, U.S. Bancorp Asset Management and an investment advisory subsidiary of Wells Fargo.
He was Chair of the National Society of Compliance Professionals and is currently a Principal of an $88 billion investment advisor in Minneapolis, Minnesota. He is admitted to practice in both California and Minnesota.
Kevin is a Consultant with NRS in the Investment Adviser Services Department, and he is based in our New York City branch office. Kevin also delivers comprehensive compliance solutions to various types of investment management firms including separately managed account advisers, mutual fund advisers and private fund advisers, including hedge funds, private equity funds, venture capital funds and real estate funds.
Kevin earned his Juris Doctor degree from Brooklyn Law School in 2012. He is a member of the New York State Bar.
After graduating from law school, Kevin served as Chief Operating Officer of another leading compliance consulting firm based in New York City. During his tenure there, Kevin hired, trained and oversaw the firm’s team of consultants while ensuring quality control and increasing operational efficiency. Kevin also performed consulting services for key clients.
Before attending law school, Kevin entered the financial services industry as a Financial Advisor and formerly held Series 7 and Series 66 licenses while he was with UBS Financial Services and MetLife Financial Services.
Kevin is an alumnus of The Hotchkiss School and The City College of the City University of New York.
For Whom: Designed to increase the professional competence of Investment Advisers and Broker-Dealers.
Suggested Skill Level: Intermediate
Maximum Recommended Credit Hours for this session will include CLE, IACCP® and CPE .
CA MCLE = 60 minutes
IACCP® = 60 minutes
CPE = 60 minutes
For more information, check out the NRS Continuing Education Guide.